Compliance Advisory Manager Investment Management

4 weeks ago

London, United Kingdom eFinancialCareers Full time

Our client are a growing UK Investment Management firm.

**Description**

The Compliance Advisory Manager will be responsible for:

- Advising the business on policies and procedures, including representing Compliance in business projects where Compliance input/representation is required
- Implementing regulatory changes for in-scope jurisdictions: Collaborate with the North America Advisory Manager and Regulatory Policy Manager to implement regulatory policy change into the business. Regulatory changes could be rule changes, as well as changesin the relevant regulator's interpretations/expectations or best practice findings. Via
- Sharing technical knowledge and jurisdictional expertise to support the Regulatory Policy Manager's creation of an implementation plan and impacts on the business
- Ensuring compliance policies and procedures are in line with regulatory requirements, updating and refreshing them as regulatory requirements/expectations change
- Assisting with implementation of regulatory changes into the business, with the appropriate level of collaboration with Compliance colleagues and the business
- Regulatory reporting for in-scope jurisdictions - assist, as requested, in ensuring that all compliance related reporting is complete and submitted on time, as well as assisting with relevant registrations (whether firm level or individual level) and requiredfirm-level material
- Liaising and working closely with the Compliance Monitoring team to ensure that they are aware of changes to policies and procedures, so they can make the relevant changes to their monitoring program
- Assisting with the development and delivery of compliance training - Supporting other business areas to develop and maintain systems, procedures and controls to ensure ongoing compliance
- Support Day to day management of staff within your team including recruitment, training, appraisals, salary review etc

**Profile**

The Compliance Advisory Manager should have the following skills:

- 4-6 years' Compliance regulatory/advisory experience within UK financial services, preferably asset management/wealth management, with 1-2 years management experience
- Experienced in advising on UK and EU compliance policies and working with the business regarding policy changes, as well as experience of UK/EU fund structures
- Desirable but not essential: university degree and professional exams (eg IMC, CISI Diploma)
- Competent user of Microsoft Office eg Word

**Job Offer**

Competitive salary

Strong benefits package

Hybrid working

  • Compliance Advisory Officer

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. **THE RESPONSIBILITIES**: - Responsible for providing Compliance Advisory support to the Business -...

  • Head of Investments Compliance Advisory

    4 weeks ago

    London, United Kingdom eFinancialCareers Full time

    At M&G our purpose is **to **help people manage and grow their savings and investments, responsibly.** As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clientsand identifying new opportunities to make a positive impact for our environment and communities. To help us...

  • Compliance Advisory Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory

    5 days ago

    London, United Kingdom Eximius Finance Full time

    Required skills and knowledge:  •    A well-developed understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses. •    An understanding of the FCA rules in relation to ESG, Principles for Responsible Investment, TCFD, Stewardship Code and SRD II. •    Experience...

  • Compliance Advisory

    2 weeks ago

    London, United Kingdom Eximius Finance Full time

    Required skills and knowledge:  •    A well-developed understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses. •    An understanding of the FCA rules in relation to ESG, Principles for Responsible Investment, TCFD, Stewardship Code and SRD II. •    Experience of...

  • Compliance Advisory Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Find out if this opportunity is a good fit by reading all of the information that follows below.Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...

  • Compliance Advisory Officer

    5 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Find out if this opportunity is a good fit by reading all of the information that follows below.Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...

  • Compliance Advisory Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    4 days ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units...

  • Compliance Advisory Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to...

  • Compliance Advisory Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Advisory Manager

    1 month ago

    London, United Kingdom eFinancialCareers Full time

    Key responsibilities: - Advising the business on policies and procedures - Financial promotion sign-off (including associated monitoring controls) - Compliance related funds work related to in-scope jurisdictions eg Prospectus reviews, due diligence questionnaires, due diligence visits, KIID reviews - Implementing regulatory changes for in-scope...

  • Compliance/advisory Generalist

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a leading independent Brokerage firm based in the City. **THE RESPONSIBILITIES**: - Providing compliance advisory support to a cash equity business control - Trade and communications surveillance - SMCR support - AML/KYC account opening and reassessment - General research issues **EXPERIENCE REQUIRED**: - General compliance...

  • Compliance Advisory

    4 weeks ago

    London, United Kingdom Cameron Kennedy Full time

    CONTRACT TYPE: - Permanent- LOCATION: - City of London- INDUSTRY: - Compliance & Legal- Financial Services- SALARY: - Negotiable- START DATE: - ASAP- REF: - BN373239_1677240766- JOB PUBLISHED: - 1 day ago**Compliance Advisory** **£90000 - £100000 + Bonus + Benefits** **London** **THE COMPANY** Growing London banking group, part of one of the world's...

  • Compliance Advisory Officer

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Advisory Officer

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Officer

    1 month ago

    London, United Kingdom Miryco Consultants Ltd Full time

    Miryco Consultants are working with a global leading asset manager to hire a Compliance Specialist to join their Advisory function. This is an exciting opportunity for compliance professionals with experience in the investment industry and a strong understanding of investment platforms regulations to join an industry-leading team. Provide regulatory...

  • Compliance Officer

    4 days ago

    London, United Kingdom Miryco Consultants Ltd Full time

    Job Description Miryco Consultants are working with a global leading asset manager to hire a Compliance Specialist to join their Advisory function. This is an exciting opportunity for compliance professionals with experience in the investment industry and a strong understanding of investment platforms regulations to join an industry-leading team. Provide...